SMBC Nikko Capital Markets Limited

• Principal Place of Business

  100 Liverpool Street

  London

  London

  EC2M 2AT

  UNITED KINGDOM

  Phone

  +4402045071000

  Web

  https://www.smbcgroup.com/emea/group-companies

• Complaints Contact

  100 Liverpool Street

  London

  EC2M 2AT

  UNITED KINGDOM

  Phone

  +4402045074709

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Arranges Investments

  For Eligible Counterparty, Professional, Retail (Investment), Alternative Debenture, Binary Bet, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Structured Deposits, Unit, Warrant

  Show 2 limitations Hide limitations

  • · When dealing with retail clients, the firm may not carry out the investment activity in relation to a Binary Bet.
  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Stockbroking

  For Eligible Counterparty, Professional, Retail (Investment), Alternative Debenture, Binary Bet, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Structured Deposits, Unit, Warrant

  Show 2 limitations Hide limitations

  • · When dealing with retail clients, the firm may not carry out the investment activity in relation to a Binary Bet.
  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Trades With You Directly

  For Eligible Counterparty, Professional, Retail (Investment), Alternative Debenture, Binary Bet, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

  Show 2 limitations Hide limitations

  • · When dealing with retail clients, the firm may not carry out the investment activity in relation to a Binary Bet.
  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Investment Setup

  For Eligible Counterparty, Professional, Retail (Investment), Alternative Debenture, Binary Bet, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Structured Deposits, Unit, Warrant

  Show 2 limitations Hide limitations

  • · When dealing with retail clients, the firm may not carry out the investment activity in relation to a Binary Bet.
  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• James Richard Christopher Garvey

  IRN JXG00757

  • SMF12 Chair of the Remuneration Committee (since 1 Jan 2025)
  • SMF9 Chair of the Governing Body (since 1 Oct 2024)
  • SMF13 Chair of the Nominations Committee (since 1 Oct 2024)
• Jane Denise Regan

  IRN JDR01122

  • SMF16 Compliance Oversight (since 9 Dec 2025)
• Jane Maria Sethi

  IRN JXS00168

  • [FCA CF] Manager of certification employee (1 Apr 2021 to 31 Mar 2025)
  • [FCA CF] Material risk taker (1 Apr 2021 to 7 Oct 2024)
  • [FCA CF] Significant management (1 Apr 2021 to 31 Mar 2025)
• Jane Yuki Curtis

  IRN JYF01001

  • [FCA CF] Client dealing (9 Dec 2019 to 30 Nov 2024)
  • CF30 Customer (29 Nov 2011 to 8 Dec 2019)
• Jaouhar Bani

  IRN JXB02236

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (14 Jun 2018 to 8 Dec 2019)
• Jason Mann

  IRN JXM01550

  • [FCA CF] Manager of certification employee (25 Oct 2021 to 20 Mar 2024)
  • [FCA CF] Client dealing (25 Oct 2021 to 20 Mar 2024)
• Jeremy Charles Boulton

  IRN JCB01158

  • CF10 Compliance Oversight (10 Nov 2010 to 30 Apr 2015)
  • CF11 Money Laundering Reporting (10 Nov 2010 to 30 Apr 2015)
  • CF28 Systems and controls (10 Nov 2010 to 30 Apr 2015)
• Jianxu Ma

  IRN JXM01437

  • [FCA CF] Client dealing (27 Jul 2023 to 31 Mar 2025)
• Jodie Lee Pidcock

  IRN JLP01113

  • CF30 Customer (9 Jul 2012 to 14 Mar 2018)
• Johann Philip Mendrzyk

  IRN PXM01398

  • [FCA CF] Client dealing (9 Dec 2019 to 13 Oct 2021)
  • CF30 Customer (23 Aug 2018 to 8 Dec 2019)

No changes recorded yet.